{"id":9449,"date":"2020-10-23T09:57:30","date_gmt":"2020-10-23T13:57:30","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9449"},"modified":"2020-10-23T09:57:30","modified_gmt":"2020-10-23T13:57:30","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules October 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Albarella<\/td>\n\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 People\u2019s Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Curt Giacobbe<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Eagle Strategies LLC<\/td>\n<\/tr>\n
\u00a0 Dean Grosskreutz<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Naveed Mitha<\/td>\n\u00a0 SunTrust Robinson Humphrey, Inc.<\/td>\n<\/tr>\n
\u00a0 Jose Montero<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Cleavon Tidball<\/td>\n\u00a0 T. Rowe Price Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Transamerica Investors Securities Corporation<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for October 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-9449","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals for Violations of FINRA Rules October 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2020, the following individuals were suspended for failing to provide information requested.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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